Senior Investment Operations Associate
- role is responsible for the coordinating day-to-day operational priorities, maintaining execution quality standards, enforcing workflow discipline, and
- escalating issues appropriately to Investment Leadership. This role serves as the primary operational
- point of coordination within Investment Operations and plays a key role in ensuring execution accuracy,
- efficiency, and consistency across all investment processes.
This role owns core execution responsibilities across trading, portfolio management, account
administration, alternatives processing, and investment workflows, with an emphasis on precision, compliance, efficiency, and scalability.
Operational Coordination & Prioritization
- Coordinate daily and weekly operational workload across investment operations activities
- Prioritize tasks based on investment timelines, client needs, and risk considerations
- Communicate capacity constraints, sequencing considerations, and dependencies to Investment
Strategy and Investment Leadership
- Ensure high-priority and time-sensitive tasks are executed accurately and on schedule
Trading Execution & Compliance
- Own accurate and timely execution of all trades across client portfolios
- Execute trades in alignment with firm standards, model recommendations, client objectives, and regulatory requirements
- Ensure adherence to compliance controls, trading restrictions, and internal policies
- Review portfolio activity for accuracy and completeness and identify potential execution risks or exceptions for escalation
Leadership in a timely manner
- Document recurring issues and partner with leadership to prevent future occurrences
- Exercise sound judgment in determining when issues require leadership awareness
Qualifications:
- 3-5+ yrs experience in Financial Services or Investment Operations
- Bachelors degree with major in finance, economics, accounting, financial planning or related field required
- FINRA Series 6 or 7 and series 63 license (required or obtainable within 6 months on the job).
- Iowa Life and Health Insurance License (preferred or obtainable within 6 months on the job).
- Progress toward professional designation a plus but not required: CFA, CAIA, CFP, CPWA, CPA, JD, MBA, or CIMA
- Completion of Northwestern Mutual Signature advisory training.
- Experience with Envestnet and custodial investment platforms strongly preferred
- Proven experience executing and reviewing trades, cash movements, portfolio maintenance, and account administration with a high degree of accuracy
- Demonstrated ability to take ownership, exercise sound judgment, and provide operational leadership without formal authority
- Strong judgment in identifying execution issues, determining appropriate resolution paths, and escalating material risks or exceptions
Key Characteristics:
- High integrity and strong attention to detail
- Process‐oriented with disciplined execution mindset
- Excellent written and verbal communication skills
- Strong organizational and prioritization skills
- Ability to manage multiple responsibilities in a fast‐paced environment
- Commitment to accuracy, compliance, and continuous improvement
- Ability to work independently and collaboratively
- Maintains confidentiality and professionalism at all times
Pay: $75,000.00 - $89,000.00 per year
Benefits:
- Dental insurance
- Flexible schedule
- Health insurance
- Paid time off
- Professional development assistance
- Retirement plan
Work Location: In person
